Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
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Página 3
... certificate company " means an investment company which is engaged in the business of issuing face - amount certificates , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) " Unit investment ...
... certificate company " means an investment company which is engaged in the business of issuing face - amount certificates , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) " Unit investment ...
Página 5
... certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be order exempt such ... certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or effectively ...
... certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be order exempt such ... certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or effectively ...
Página 6
... certificate or subscription for such a company . ( d ) No investment company , unless organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or ...
... certificate or subscription for such a company . ( d ) No investment company , unless organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or ...
Página 7
... certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru- mentality of interstate commerce to engage in the business of selling periodic payment plan certificates , or as a salesman for such a ...
... certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru- mentality of interstate commerce to engage in the business of selling periodic payment plan certificates , or as a salesman for such a ...
Página 9
... certificate company ) shall issue any security ( other than short - term paper ) representing an interest in or claim against only a class of the issuer's assets , unless such class of kets was created , and securities representing ...
... certificate company ) shall issue any security ( other than short - term paper ) representing an interest in or claim against only a class of the issuer's assets , unless such class of kets was created , and securities representing ...
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Términos y frases comunes
abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends Exchange Commission existing face-amount certificate company fact firm Founders funds holding company industry investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange
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Página 27 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Página 26 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 34 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...
Página 116 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Página 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Página 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Página 178 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Página 111 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Página 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...
Página 33 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...